Let M be a closed, irreducible, genus two 3-manifold, and F a maximal collection of pairwise disjoint, closed, orientable, incompressible surfaces embedded in M. Then each component manifold M_i of M-F has handle number at most one, i.e. admits a Heegaard splitting obtained by attaching a single 1-handle to one or two components of boundary M_i. This result also holds for a decomposition of M along a maximal collection of incompressible tori.
A specific set of 4g+1 elements is shown to generate the Goeritz group of the genus g+1 Heegaard splitting of a genus g handlebody. These generators are consistent with Powell's proposed generating set for the Goeritz group of the genus g+1 splitting of S^3. There are two proofs: one using purely classical techniques and one using thin position.
A handlebody link is a union of handlebodies of positive genus embedded in 3-space, which generalizes the notion of links in classical knot theory. In this paper, we consider handlebody links with one genus 2 handlebody and $n-1$ solid tori, $n>1$. Our main result is the complete classification of such handlebody links with six crossings or less, up to ambient isotopy.
We determine the structure of the circular handle decompositions of the family of free genus one knots. Namely, if k is a free genus one knot, then the handle number h(k)= 0, 1 or 2, and, if k is not fibered (that is, if h(k)>0), then k is almost fibered. For this, we develop practical techniques to construct circular handle decompositions of knots with free Seifert surfaces in the 3-sphere (and compute handle numbers of many knots), and, also, we characterize the free genus one knots with more than one Seifert surface. These results are obtained through analysis of spines of surfaces on handl…
We provide a classification of the essential surfaces of non-negative Euler characteristic in the exteriors of genus two handlebodies embedded in the 3-sphere.
Embeddings of pairs of disjoint nonparallel primitive simple closed curves in the boundary of a genus two handlebody are classified. Briefly, two disjoint primitives either lie on opposite ends of a product $F \boldsymbol{\times} I$, or they lie on opposite ends of a kind of "twisted" product $F \widetilde{\boldsymbol{\times}} I$, where $F$ is a once-punctured torus. If one of the curves is a proper power of a primitive, the situation is simpler. Either the curves lie on opposite sides of a separating disk in the handlebody, or they bound a nonseparating essential annulus in the handlebody.
Suppose a genus two handlebody is removed from a 3-manifold M and then a single meridian of the handlebody is restored. The result is a knot or link complement in M and it is natural to ask whether geometric properties of the link complement say something about the meridian that was restored. Here we consider what the relation must be between two not necessarily disjoint meridians so that restoring each of them gives a trivial knot or a split link.
We prove that knots obtained by attaching a band to a split link satisfy the cabling conjecture. We also give new proofs that unknotting number one knots are prime and that genus is superadditive under band sum. Additionally, we prove a collection of results comparing two 2-handle additions to a genus two boundary component of a compact, orientable 3-manifold. These results give a near complete solution to a conjecture of Scharlemann and provide evidence for a conjecture of Scharlemann and Wu. The proofs make use of a new theorem concerning the effects of attaching a 2-handle to a suture in th…
We study the existence of incompressible embeddings of surfaces into the genus two handlebody. We show that for every compact surface with boundary, orientable or not, there is an incompressible embedding of the surface into the genus two handlebody. In the orientable case the embedding can be either separating or non-separating. We also consider the case in which the genus two handlebody is replaced by an orientable 3-manifold with a compressible boundary component of genus greater than or equal to two.
A simple closed curve $α$ in the boundary of a genus two handlebody $H$ is primitive if adding a 2-handle to $H$ along $α$ yields a solid torus. If adding a 2-handle to $H$ along $α$ yields a Seifert-fibered space and not a solid torus, the curve is called Seifert. If $α$ is disjoint from an essential separating disk in $H$, does not bound a disk in $H$, and is not primitive in $H$, then it is said to be proper power. As one of the background papers of the classification project of hyperbolic primitive/Seifert knots in $S^3$ whose complete list is given in [BK20], this paper classifies in term…
Let $M$ be a closed orientable 3-manifold with a genus two Heegaard splitting $(V_1, V_2; F)$ and a non-trivial JSJ-decomposition, where all components of the intersection of the JSJ-tori and $V_i$ are not $\partial$-parallel in $V_i$ for $i=1,2$. If $G$ is a finite group of orientation-preserving diffeomorphisms acting on $M$ which preserves each handlebody of the Heegaard splitting and each piece of the JSJ-decomposition of $M$, then $G\cong \mathbb{Z}_2$ or $\mathbb{D}_2$ if $V_j\cap(\cup T_i)$ consists of at most two disks or at most two annuli.
Let $M$ be a closed orientable 3-manifold with a genus two Heegaard splitting $(V_1, V_2; F)$ and a non-trivial JSJ-decomposition, where all components of the intersection of the JSJ-tori and $V_i$ are not $\partial$-parallel in $V_i$ for $i=1,2$. If $G$ is a finite group of orientation-preserving smooth actions on $M$ which preserves each handlebody of the Heegaard splitting and each piece of the JSJ-decomposition of $M$, then $G\cong \mathbb{Z}_2$ or $\mathbb{D}_2$ unless $V_j\cap(\cup T_i)$ has three or more disk components for $j=1$ or 2.
A complex of incompressible surfaces in a handlebody is constructed so that it contains, as a subcomplex, the complex of curves of the boundary of the handlebody. For genus 2 handlebodies, the group of automorphisms of this complex is used to characterize the mapping class group of the handlebody. In particular, it is shown that all automorphisms of the complex of incompressible surfaces are geometric, that is, induced by a homeomorphism of the handlebody.
We give a necessary and sufficient condition for a simple closed curve on the boundary of a genus two handlebody to decompose the handlebody into (torus with one boundary component times [0,1]. We use this condition to decide whether a simple closed curve on a genus two Heegaard surface is a GOF-knot (genus one fibered knot) which induces the Heegaard splitting. By using this, we determine the number and the positions with respect to the Heegaard splittings of GOF-knots in the 3-manifolds with reducible genus two Heegaard splittings. This is another proof of results of Morimoto and Baker.
A recent result of Funayoshi-Koda shows that a handlebody-knot of genus two has a finite symmetry group if and only if it is hyperbolic -- the exterior admits a hyperbolic structure with totally geodesic boundary -- or irreducible, atoroidal, cylindrical -- the exterior contains no essential disks or tori but contains an essential annulus. Based on the Koda-Ozawa classification theorem, essential annuli in an irreducible, atoroidal handlebody-knots of genus two are classified into four classes: type $2$, type $3$-$2$, type $3$-$3$ and type $4$-$1$. We show that under mild condition most genus …
By Thurston's hyperbolization theorem, irreducible handlebody-knots are classified into three classes: hyperbolic, toroidal, and atoroidal cylindrical. It is known that a non-trivial handlebody-knot of genus two has a finite symmetry group if and only if it is atoroidal. The paper investigates the topology of cylindrical handlebody-knots of genus two that admit an unknotting annulus; we show that the symmetry group is trivial if the unknotting annulus is unique and of type $2$.
We consider the group of isotopy classes of automorphisms of the 3-sphere that preserve a spatial graph or a handlebody-knot embedded in it. We prove that the group is finitely presented for an arbitrary spatial graph or a reducible handlebody-knot of genus two. We also prove that the groups for "most" irreducible genus two handlebody-knots are finite.
The Heegaard genus g of an irreducible closed orientable 3-manifold puts a limit on the number and complexity of the pieces that arise in the Jaco-Shalen-Johannson decomposition of the manifold by its canonical tori. For example, if p of the complementary components are not Seifert fibered, then p < g. This result generalizes work of Kobayashi. The Heegaard genus g also puts explicit bounds on the complexity of the Seifert pieces. For example, if the union of the base spaces of the Seifert pieces has Euler characteristic X and there are a total of f exceptional fibers in the Seifert pieces, th…
We construct a small, hyperbolic 3-manifold $M$ such that, for any integer $g\geq 2$, there are infinitely many separating slopes $r$ in $\partial M$ so that $M(r)$, the 3-manifold obtained by attaching a 2-handle to $M$ along $r$, is hyperbolic and contains an essential separating closed surface of genus $g$. The result contrasts sharply with those known finiteness results on Dehn filling, and it also contrasts sharply with the known finiteness result on handle addition for the cases $g=0,1$. Our 3-manifold $M$ is the complement of a hyperbolic, small knot in a handlebody of genus 3.
We study trivalent graphs in $S^{3}$ whose closed complement is a genus two handlebody. We show that such a graph, when put in thin position, has a simple (i. e. non-loop) level edge.
In this paper, we describe the relation between the study of closed connected surfaces embedded in $S^3$ and the theory of handlebody-knots. By Fox's theorem, a pair of handlebody-knots is associated to a closed connected surface embedded in $S^3$ in the sense that their exterior components are pairwise homeomorphic. We show that for every handlebody-knot pair associated to a genus two "prime bi-knotted" surface, one is irreducible, and the other is reducible. Furthermore, for given two genus two handlebody-knots $H_1$ and $H_2$ satisfying certain conditions, we will construct a "prime bi-knot…
An open book decomposition of a 3-manifold $M$ induces a Heegaard splitting for $M$, and the minimal genus among all Heegaard splittings induced by open book decompositions is called the \emph{open book genus} of $M$. It is conjectured by Ozbagci \cite{O} that the open book genus is additive under the connected sum of 3-manifolds. In this paper, we prove that a non-prime 3-manifold which has open book genus 2 is homeomorphic to $L(p,1)\#L(q,1)$ for some integers $p,q\neq\pm1$, that is, it has non-trivial prime pieces of open book genus 1. In particular, there cannot be a counter-example to add…
Let ${\mathcal H}$ be the group of isotopy classes of orientation preserving homeomorphisms of $S^3$ that preserve a Heegaard splitting of genus two. In this paper, we use a tree in the barycentric subdivision of the disk complex of a handlebody of the splitting to obtain a finite presentation of ${\mathcal H}$.
Recently Gay and Kirby described a new decomposition of smooth closed $4$-manifolds called a trisection. This paper generalises Heegaard splittings of $3$-manifolds and trisections of $4$-manifolds to all dimensions, using triangulations as a key tool. In particular, we prove that every closed piecewise linear $n$-manifold has a multisection, i.e. can be divided into $k+1$ $n$-dimensional $1$-handlebodies, where $n=2k+1$ or $n=2k$, such that intersections of the handlebodies have spines of small dimensions. Several applications, constructions and generalisations of our approach are given.
We consider the hyperelliptic handlebody group on a closed surface of genus $g$. This is the subgroup of the mapping class group on a closed surface of genus $g$ consisting of isotopy classes of homeomorphisms on the surface that commute with some fixed hyperelliptic involution and that extend to homeomorphisms on the handlebody. We prove that the logarithm of the minimal dilatation (i.e, the minimal entropy) of all pseudo-Anosov elements in the hyperelliptic handlebody group of genus $g$ is comparable to $1/g$. This means that the asymptotic behavior of the minimal pseudo-Anosov dilatation of…
We consider finite group-actions on closed, orientable and nonorientable 3-manifolds M which preserve the two handlebodies of a Heegaard splitting of M of some genus g > 1 (maybe interchanging the two handlebodies). The maximal possible order of a finite group-action on a handlebody of genus g>1 is 12(g-1) in the orientation-preserving case and 24(g-1) in general, and the maximal order of a finite group preserving the Heegaard surface of a Heegaard splitting of genus g is 48(g-1). This defines a hierarchy for finite group-actions on 3-manifolds which we discuss in the present paper; we present…
We consider finite group-actions on closed, orientable and nonorientable 3-manifolds; such a finite group-action leaves invariant the two handlebodies of a Heegaard splitting of M of some genus g. The maximal possible order of a finite group-action of an orientable or nonorientable handlebody of genus g > 1 is 24(g-1), and in the present paper we characterize the 3-manifolds M and groups G for which the maximal possible order |G| = 24(g-1) is obtained, for some G-invariant Heegaard splitting of genus g > 1. If M is reducible then it is obtained by doubling an action of maximal possible order 2…
We construct a counterexample to the Rank versus Genus Conjecture, i.e. a closed orientable hyperbolic 3-manifold with rank of its fundamental group smaller than its Heegaard genus. Moreover, we show that the discrepancy between rank and Heegaard genus can be arbitrarily large for hyperbolic 3-manifolds. We also construct toroidal such examples containing hyperbolic JSJ pieces.
A Seifert surface F for a knot K is free if the complement of F is a handlebody (i.e., has free fundamental group). The free genus of K is the minimum genus among all free Seifert surfaces for K. In this paper we show that there exist families of hyperbolic knots with arbitrarily large volume, which each have free genus one. This implies that there are knots with free genus one but arbitrarily large canonical genus, and that there exist knots admitting incompressible free Seifert surfaces which cannot be built by applying Seifert's algorithm to a projection of the knot.
Scharlemann constructed a connected simplicial 2-complex $Γ$ with an action by the group ${\mathcal H_{2}}$ of isotopy classes of orientation preserving homeomorphisms of $S^3$ that preserve the isotopy class of an unknotted genus 2 handlebody $V$. In this paper we prove that the 2-complex $Γ$ is contractible. Therefore we get a finite presentation of ${\mathcal H_{2}}$.
The classification of finite group-actions on closed surfaces of small genus is well-known. In the present paper we are interested in the question of which of these group-actions are bounding (extend to a compact 3-manifold with the surface as its unique boundary component, e.g. to a handlebody) or geometrically bounding (extend to a hyperbolic 3-manifold with totally geodesic boundary), concentrating, as a typical case, on large group-actions on surfaces of genus 3.
We survey known (and unknown) results about the behavior of Heegaard genus of 3-manifolds constructed via various gluings. The constructions we consider are (1) gluing together two 3-manifolds with incompressible boundary, (2) gluing together the boundary components of surface times I, and (3) gluing a handlebody to the boundary of a 3-manifold. We detail those cases in which it is known when the Heegaard genus is less than what is expected after gluing.
Let $M$ be a $3$--dimensional handlebody of genus $g$. This paper gives examples of hyperbolic knots in $M$ with arbitrarily large genus $g$ bridge number which admit Dehn surgeries which are boundary-reducible manifolds.
For a genus g handlebody H a simplicial complex, with vertices being isotopy classes of certain incompressible surfaces in H, is constructed and several properties are established. In particular, this complex naturally contains, as a subcomplex, the complex of curves of the boundary surface of H. As in the classical theory, the group of automorphisms of this complex is identified with the mapping class group of the handlebody.
Let $M$ be a simple 3-manifold, and $F$ be a component of $\partial M$ of genus at least 2. Let $α$ and $β$ be separating slopes on $F$. Let $M(α)$ (resp. $M(β)$) be the manifold obtained by adding a 2-handle along $α$ (resp. $β$). If $M(α)$ and $M(β)$ are $\partial$-reducible, then the minimal geometric intersection number of $α$ and $β$ is at most 8.
Let $M$ be a simple manifold, and $F$ be a component of $\partial M$ of genus two. For a slope $γ$ on $F$, we denote by $M(γ)$ the manifold obtained by attaching a 2-handle to $M$ along a regular neighborhood of $γ$ on $F$. In this paper, we shall prove that there is at most one separating slope $γ$ on $F$ so that $M(γ)$ is $\partial$-reducible.
Given a genus two Heegaard splitting for a non-prime 3-manifold, we define a special subcomplex of the disk complex for one of the handlebodies of the splitting, and then show that it is contractible. As applications, first we show that the complex of Haken spheres for the splitting is contractible, which refines the results of Lei and Lei-Zhang. Secondly, we classify all the genus two Heegaard splittings for non-prime 3-manifolds, which is a generalization of the result of Montesinos-Safont. Finally, we show that the mapping class group of the splitting, called the Goeritz group, is finitely …
The idea of studying trisections of closed smooth $4$-manifolds via (singular) triangulations, endowed with a suitable vertex-labelling by three colors, is due to Bell, Hass, Rubinstein and Tillmann, and has been applied by Spreer and Tillmann to colored triangulations associated to the so called simple crystallizations of standard simply-connected $4$-manifolds. The present paper performs a generalization of these ideas along two different directions: first, we take in consideration also compact PL $4$-manifolds with connected boundary, introducing a possible extension of trisections to the b…
We study simple wrinkled fibrations, a variation of the simplified purely wrinkled fibrations introduced by Williams, and their combinatorial description in terms of surface diagrams. We show that simple wrinkled fibrations induce handle decompositions on their total spaces which are very similar to those obtained from Lefschetz fibrations. The handle decompositions turn out to be closely related to surface diagrams and we use this relationship to interpret some cut-and-paste operations on 4-manifolds in terms of surface diagrams. This, in turn, allows us classify all closed 4-manifolds which …
We prove a conjecture of Menasco and Zhang that if a tangle is completely tubing compressible then it consists of at most two families of parallel strands. This is related to problems of graphs in 3-manifold. A 1-vertex graph $Γ$ in a 3-manifold $M$ with a genus 1 Heegaard splitting is standard if it consists of one or two parallel sets of core curves lying in the Heegaard splitting solid tori of $M$ in the standard way. The above conjecture then follows from the theorem which says that a 1-vertex graph in $M$ is standard if and only if the exteriors of all its nontrivial subgraphs are handleb…
We study the set $\widehat{\mathcal S}_M$ of framed smoothly slice links which lie on the boundary of the complement of a 1-handlebody in a closed, simply connected, smooth 4-manifold $M$. We show that $\widehat{\mathcal S}_M$ is well-defined and describe how it relates to exotic phenomena in dimension four. In particular, in the case when $X$ is smooth, with a handle decompositions with no 1-handles and homeomorphic to but not smoothly embeddable in $D^4$, our results tell us that $X$ is exotic if and only if there is a link $L\hookrightarrow S^3$ which is smoothly slice in $X$, but not in $D…
We construct a hyperbolic 3-manifold $M$ (with $\partial M$ totally geodesic) which contains no essential closed surfaces, but for any even integer $g> 0$ there are infinitely many separating slopes $r$ on $\partial M$ so that $M[r]$, the 3-manifold obtained by attaching 2-handle to $M$ along $r$, contains an essential separating closed surface of genus $g$ and is still hyperbolic. The result contrasts sharply with those known finiteness results for the cases $g=0,1$. Our 3-manifold $M$ is the complement of a simple small knot in a handlebody.
An important difference between high dimensional smooth manifolds and smooth 4-manifolds that in a 4-manifold it is not always possible to represent every middle dimensional homology class with a smoothly embedded sphere. This is true even among the simplest 4-manifolds: $X_0(K)$ obtained by attaching an $0$-framed 2-handle to the 4-ball along a knot $K$ in $S^3$. The $0$-shake genus of $K$ records the minimal genus among all smooth embedded surfaces representing a generator of the second homology of $X_0(K)$ and is clearly bounded above by the slice genus of $K$. We prove that slice genus is …
Let $X$ be a bundle over $S^1$ with fiber a 3--manifold $M$ and with monodromy $φ$. Gay and Kirby showed that if $φ$ fixes a genus $g$ Heegaard splitting of $M$ then $X$ has a genus $6g+1$ trisection. Genus $3g+1$ trisections have been found in certain special cases, such as the case where $φ$ is trivial, and it is known that trisections of genus lower than $3g+1$ cannot exist in general. We generalize these results to prove that there exists a trisection of genus $3g+1$ whenever $φ$ fixes a genus $g$ Heegaard surface of $M$. This means that $φ$ can be nontrivial, and can preserve or switch th…
In this paper we study colored triangulations of compact PL 4-manifolds with empty or connected boundary which induce handle decompositions lacking in 1-handles or in 1- and 3-handles, thus facing also the problem, posed by Kirby, of the existence of {\it special handlebody decompositions} for any simply-connected closed PL 4-manifold. In particular, we detect a class of compact simply-connected PL 4-manifolds with empty or connected boundary, which admit such decompositions and, therefore, can be represented by (undotted) framed links. Moreover, this class includes any compact simply-connecte…
Given a stabilized Heegaard splitting of a $3$-manifold, the primitive disk complex for the splitting is the subcomplex of the disk complex for a handlebody in the splitting spanned by the vertices of the primitive disks. In this work, we study the structure of the primitive disk complex for the genus two Heegaard splitting of each lens space. In particular, we show that the complex for the genus two splitting for the lens space $L(p, q)$ with $1\leq q \leq p/2$ is connected if and only if $p \equiv \pm 1 \pmod q$, and describe the combinatorial structure of each of those complexes. As an appl…
